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KW

Karl C. Waney

Some features on this profile are disabled
CRD#: 2724640
KW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Karl Christopher Waney was a registered financial professional .

Karl is a previously registered financial professional and started their career in finance in 1996. Karl had worked at 8 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 17, 2007 - September 25, 2012

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

September 18, 2006 - December 20, 2007

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

September 16, 2005 - October 5, 2006

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
ISELIN, NJ
Past

August 18, 2005 - September 20, 2005

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

September 24, 2002 - August 24, 2005

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

September 3, 1999 - October 1, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 4, 1997 - September 15, 1999

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

May 1, 1996 - June 9, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/23/1996
General Securities Representative Examination

Current Firm

NS
NATIONAL SECURITIES CORPORATION
NAT'L SECURITIES CORP | WASHINGTON NATIONAL SECURITIES CORPORATION | NTL INSURANCE AGENCY | NSC INSURANCE AGENCY | NATIONAL SECURITIES OF WASHINGTON | NATIONAL SECURITIES CORPORATION | NATIONAL SECURITIES CORP OF WASHINGTON STATE

CRD#: 7569 / SEC#: , 8-164

BD
Terminated by SEC on 10/20/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 01/06/1947
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL HOLDINGS CORPORATIONPARENT, OWNER
MARKUNAS, MICHAELCHIEF COMPLIANCE OFFICER1832307

Disclosures

Regulatory Event66
Arbitration16

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NATIONAL SECURITIES CORPORATION

CRD#: 7569

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